DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

W.P. Stewart & Co., LLC

Former SEC-registered adviserNew York, New YorkCRD 105655SEC 801-13895IAPD
Latest filing Mar 29, 2019
First filing on the tape Mar 30, 2012 · 19 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$1.2B as of Mar 31, 2014
Mar 30, 2012$881M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 28, 20131 then
Employees (5.A)0 as of Mar 29, 2019
Mar 28, 201326 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2019; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Anthony Paul Anzalone · Vp And Assistant Treasurercontrol
      since 12/2013 · owns less than 5%
    • Nmn Raymond Carli · Svp And Treasurercontrol
      since 12/2013 · owns less than 5%
    • Edward Laurence Cranch · Svp And General Counselcontrol
      since 12/2013 · owns less than 5%
    • Marshall Robert Keith · Director And Senior Managing Directorcontrol
      since 12/2013 · owns less than 5%
    • Michael David Lesser · Corporate Secretarycontrol
      since 12/2013 · owns less than 5%
    • Michael James Liptrot · Svp And Assistant Controllercontrol
      since 12/2013 · owns less than 5%
    • Randall Mark Manley · Director, Svp And Chief Compliance Officercontrol
      since 12/2013 · owns less than 5%
    • Charles John Weisenseel · Svp And Chief Financial Officercontrol
      since 12/2013 · owns less than 5%
    Entity owners
    • Alliancebernstein Corporation Of Delaware · 100% Shareholder
      direct · owns 75% or more
    • Alliancebernstein International LLC · 100% Shareholder
      indirect · owns 75% or more of Alliancebernstein Corporation Of Delaware
    • Alliancebernstein L.P. · 100% Shareholder
      indirect · owns 75% or more of Alliancebernstein International LLC · public reporting company
    Related persons
    Schedule D 7.A
    Advisers that list W.P. Stewart & Co., LLC as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Other offices · 23 to 0
      Jan 8, 2018 to Mar 28, 2018
    • Other offices · unset to 23.0
      Sep 14, 2017 to Dec 15, 2017
    • Business name · W.P. STEWART & CO., LTD. to W.P. STEWART & CO., LLC
      Mar 31, 2015 to Jun 12, 2015
    • Legal name · W.P. STEWART & CO., LTD. to W.P. STEWART & CO., LLC
      Mar 31, 2015 to Jun 12, 2015
    • Accounts · 393.0 to unset
      Dec 22, 2014 to Mar 31, 2015
    • Advisory employees · 8 to 0
      Dec 22, 2014 to Mar 31, 2015
    • Advisory activities · 3 to 1
      Dec 22, 2014 to Mar 31, 2015
    • BD registered reps · 2 to 0
      Dec 22, 2014 to Mar 31, 2015
    • Employees · 8 to 0
      Dec 22, 2014 to Mar 31, 2015
    • Organization form · Corporation to Limited Liability Company
      Dec 22, 2014 to Mar 31, 2015
    • Discretionary RAUM · 1192829133.0 to unset
      Dec 22, 2014 to Mar 31, 2015
    • Non-discretionary RAUM · 0.0 to unset
      Dec 22, 2014 to Mar 31, 2015
    • RAUM · 1192829133.0 to unset
      Dec 22, 2014 to Mar 31, 2015
    • Accounts · 427 to 393
      Jan 29, 2014 to Mar 31, 2014
    • BD registered reps · 8 to 2
      Jan 29, 2014 to Mar 31, 2014
    • Employees · 26 to 8
      Jan 29, 2014 to Mar 31, 2014
    • State-registered IARs · 1 to 0
      Jan 29, 2014 to Mar 31, 2014
    • Discretionary RAUM · $978M to $1.2B
      Jan 29, 2014 to Mar 31, 2014
    • RAUM · $978M to $1.2B
      Jan 29, 2014 to Mar 31, 2014
    • Related bank · false to true
      Mar 28, 2013 to Jan 29, 2014
    • Related broker-dealer · false to true
      Mar 28, 2013 to Jan 29, 2014
    • Accounts · 439 to 427
      Mar 30, 2012 to Mar 28, 2013
    • Advisory employees · unset to 8.0
      Mar 30, 2012 to Mar 28, 2013
    • BD registered reps · unset to 8.0
      Mar 30, 2012 to Mar 28, 2013
    • Employees · unset to 26.0
      Mar 30, 2012 to Mar 28, 2013
    • State-registered IARs · unset to 1.0
      Mar 30, 2012 to Mar 28, 2013
    • Discretionary RAUM · $881M to $978M
      Mar 30, 2012 to Mar 28, 2013
    • RAUM · $881M to $978M
      Mar 30, 2012 to Mar 28, 2013
    Signals
    2 dated events
    • Joseph Edward Farrell (Director, Svp And Controller) no longer on Schedule A of W.P. Stewart & Co., Llc (listed 2018-03-28, absent 2019-03-29)
      Mar 29, 2019 · Control person left · inference
    • W.P. Stewart & Co., Llc reported 0 offices beyond its principal office, down from 23 (2018-01-08 to 2018-03-28)
      Mar 28, 2018 · Office count change · derived
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026